NSCP News & Updates

Register for our Regulatory Interchange in Miami on March 4, 2019

Don’t miss our NSCP Regulatory Interchange with the SEC & FINRA.

The NSCP Regulatory Interchange will provide an informal setting for industry professionals to ask questions and share concerns with the regulators and fellow attendees. Facilitated by industry professionals, attendees will meet and discuss the issues most pressing to them before they meet with SEC & FINRA regulators. Don’t miss this opportunity to network with both your peers and regulators!

Everything You Want to Know About Alternative Credit Funds

Don’t miss this Webinar on Tuesday, February 5th from 2:00pm–3:00pm EST

Join the National Society of Compliance Professionals (NSCP) and Alaric Compliance Services, LLC for a free webinar discussion on Alternative Credit Funds, the first in a series on Credit Products.

The demand for alternative pooled and/or structured credit products such as private funds, Business Development Companies (BDCs) and Collateralized Loan Obligation (CLO) vehicles, affording exposure to a growing spectrum of liquid as well as less liquid credit-based investment instruments has accelerated due to investors and their advisers searching for enhanced yields and active management of interest rate risks reducing traditional credit exposure and replacing it, (treating “credit” as an asset class) with exposure to alternative credit strategies and products.

The complexity and varying liquidity and risk profiles of these products presents a number of compliance issues requiring the customization of compliance programs of SEC registered asset managers’ active in this space.

Don’t miss this Webinar on Friday, February 8th from 2:00pm–3:00pm EST

NSCP and Hardin Compliance Consulting will host a lively discussion to include referral arrangements for investment advisers and traps for the unwary. Join Jennifer Relien, General Counsel & Chief Compliance Officer for Prosperity Capital Advisors and Valor Capital Management, and Jaqueline Hummel, Partner and Managing Director, Hardin Compliance Consulting, for a discussion on the SEC’s recent “Risk Alert on Cash Solicitation Arrangements.” Jennifer and Jacqueline will share practical tips on how to set up, test and monitor on-going referral relationships.

And just like that, school is back in session and the dog days of summer are but a memory. While we hope everyone enjoyed some personal time off, we know that many of you remained dedicated and focused on the tasks at hand. In Q3, NSCP volunteers put in some serious work. Thanks to you all, as we’re setting ourselves up for an exciting and productive Q4!

This month’s feature Podcast is Patrick Hayes’ “Current Trends in SEC Exams – What to Expect”.

If you haven’t been examined in a while, listen in to help you identify key risk areas affecting your firm to help ensure your firm puts its best foot forward the next time the SEC comes in to kick the tires.

You can listen and subscribe at the following podcast networks. We look forward to your comments and reviews!

Join us for Tuesday’s luncheon at the NSCP National Conference when Commissioner Peirce shares her views on the importance of the SEC’s inspections and examination program, the role that compliance officers play in ensuring that our capital markets work efficiently, and the ways in which the SEC can help compliance officers be more effective. She will be happy to entertain questions.

Who would have thought 10 years ago that compliance professionals would need to become pseudo experts on cybersecurity and other technological advances? Compliance professionals must be forward thinkers, willing and able to identify, prepare for, and respond to emerging trends in all areas of the business.

Have you ever known someone who was so driven to succeed that they would do so by any means necessary? As Compliance Professionals, many would describe themselves as skeptics by nature. What happens when someone’s drive to succeed outweighs their desire to ask one more question?

Join us for our opening keynote address featuring Rashmi Airan, a first-generation immigrant of Indian parents and the oldest of three daughters, who was raised with high expectations to achieve. Having both professional and personal pressures, Rashmi aspired to become a successful lawyer graduating with honors from Columbia University. During the housing boom, she was recruited to work with a local real-estate developer who later engaged in questionable business practices. Rashmi’s drive to succeed financially and to give her children the best life possible created an ethical blind spot for her.